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Showing 691 to 700 of 834 search results for financial crime risks in trade.

  1. Market Force and the Chartered Institute’s Nicholas Barbon Lectures

    Speeches Published: 06/02/2013 Last modified: 29/03/2013
    Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London

  2. TR15/11: Financial Benchmarks: Thematic Review of Oversight and Controls

    Thematic reviews Published: 29/07/2015 Last modified: 04/11/2019
    This report presents the findings from our thematic review of firms’ oversight and controls in relation to financial benchmarks.

  3. Retail banking: our review of Basic Bank Accounts

    Multi-firm reviews Published: 11/02/2020 Last modified: 12/02/2020
    We have reviewed how retail banks provide information about Basic Bank Accounts.

  4. FSA fines spread bet broker £490,000 for transaction reporting failures

    Press Releases Published: 20/01/2011 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined City Index Limited (City Index) £490,000 for failing to provide accurate transaction reports to the FSA.

  5. Proposed new rules to encourage companies to list in the UK and other market improvements set out by financial watchdog

    Press Releases Published: 20/12/2023 Last modified: 20/12/2023
    Proposals aimed at making the UK’s listing regime more accessible, effective, and competitive, have today been set out in detail by the Financial Conduct Authority (FCA).

  6. FCA prosecutes five individuals for role in 'all-or-nothing’ investment scheme

    Press Releases Published: 01/11/2022 Last modified: 01/11/2022
    We have charged five suspects for alleged investment fraud. The case will go to trial in February 2023.

  7. Sustainability disclosure and labelling regime

    Tasks for firms Firms Published: 02/02/2024 Last modified: 01/07/2024
    Information for firms and trade associations on sustainability disclosure requirements and the anti-greenwashing rule.

  8. Restrictions placed on IBP Markets Limited and the Firm enters special administration

    News stories Published: 13/10/2023 Last modified: 05/06/2024
    We have imposed a number of restrictions on IBP Markets Limited, stopping it from carrying on any regulated activities due to concerns about the way it conducts its business, including about client money protections at the firm.

  9. PS21/10: Investor protection measures for special purpose acquisition companies: Changes to the Listing Rules

    Policy statements Published: 30/04/2021 Last modified: 05/04/2022
    We set out changes to our Listing Rules that apply to special purpose acquisition companies (SPACs)

  10. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

    Press Releases Published: 12/10/2016 Last modified: 12/10/2016
    The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering
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